Page 1 Page 2 INTEGRATED SAFEGUARDS DATASHEET CONCEPT STAGE I. Basic Information Date prepared/updated: 18/12/2009 Report No.: AC4993 1. Basic Project Data Country: Vietnam Project ID: P113496 Project Name: Red River Delta Rural Water Supply and Sanitation Project Additional Finance Task Team Leader: Hoa Thi Hoang Estimated Appraisal Date: January 4, 2010] Estimated Board Date: March 18, 2010 Managing Unit: EASVS Lending Instrument: Specific Investment Loan Sector: Water supply (60%); Sanitation (20%); Health (20%); Theme: Rural services and infrastructure (P);Other communicable diseases (S) IBRD Amount (US$m.): 0.00 IDA Amount (US$m.): 65.27 GEF Amount (US$m.): 0.00 PCF Amount (US$m.): 0.00 Other financing amounts by source: BORROWER/RECIPIENT 8.13 8.13 Environmental Category: B – Partial Assessment Simplified Processing Simple [X] Repeater [] Is this project processed under OP 8.50 (Emergency Recovery) or OP 8.00 (Rapid Response to Crises and Emergencies) Yes [ ] No [X] 2. Project Objectives The project’s development objectives are to contribute to improving the quality of life and alleviating poverty in selected rural communities, through investments in water supply and sanitation infrastructure, hygiene and sanitation related behavior, and capacity building. 3. Project Description The project is designed under APL program with two phases and is now implementing phase 1. · Phase 1 ($45.87 Million), will demonstrate appropriate approaches to RWSS in the Red River Delta and build capacity at decentralized levels. The project will support initiatives in the provinces of Hai Duong, Nam Dinh, Ninh Binh, and Thai Binh. · Phase 2 ($ 96 million), will scale up RWSS approaches that have been tested and proven in Phase 1. The phase 2 expected to start in fiscal year 2012. It will expand Page 3 project initiatives in up to eight additional provinces: Bac Ninh, Ha Nam, Quang Ninh., Ha Tay, Hung Yen, Thanh Hoa, Vinh Phuc and Phu Tho, and thereby support expanded implementation of the National RWSS Strategy and the National RWSS target Program. The additional financing is being sought to compete the original project activities to meet the unanticipated financing gaps for two reasons; (i) cost increases resulting from the unusually high inflation in the construction sector in 2007-8; and (ii) to provide funding to meet costs due to increased demand for numbers of water connections and higher consumption demanded from users in the communes included in the Project. The Parent Project consists of four components: Component 1: Water and Sanitation Infrastructure Development will respond primarily to the growing rural/urban services gap by improving access to safe water supplies and sanitation facilities in selected rural areas. Each of the four Phase One provinces will have about 25-30 commune level sub-projects implemented. The project will finance, through grants and loans for civil works, contracts for the construction of new piped water systems in communes that do not have piped water systems, and to a limited extent upgrading existing schemes. In areas of the communes where piped supplies are either not economically viable, or where demand is low, on-site household or neighborhood level water supply services will be supported through revolving funds and grants for construction. Access to resources for improving household sanitation and household drainage infrastructure through a range of technology choices will be made available to all households within each sub-project. Grant support will be offered for sanitation facilities in public locations such as schools and clinics. Commune Water and Sanitation Action Plans to be developed through the project will include specific strategies and mechanisms to provide poor households with a basic level of service, in accordance with national policies and programs for assisting the poor. Component 2: Hygiene and Sanitation Behavior Change will help mitigate the water and sanitation-related disease problems that contribute to poverty in the Red River Delta and neighboring provinces. The component will provide a range of hygiene and sanitation promotion interventions aimed at optimizing the effective use of improved water and sanitation infrastructure and adoption of safe hygiene behaviors in all households within sub-project areas through commune and school-based programs. Particular attention will be directed at developing tools and methods for concentrating impacts on poor households. Inputs will include training, mass media campaigns, development and production of health education and promotion tools facilitation of community-wide awareness and demand generation for improvements in key hygiene behaviors by whole communities and business development support to the local private sector so that it can respond to that demand in a sustained manner. Component 3: Strengthening the Capacity of Community and Local Government Institutions and Management Entities will address deficiencies in fund transfer, institutional capacities, and the effectiveness of decentralized investment through training and technical assistance. Inputs will target provincial government line agencies with Page 4 direct responsibilities for rural water and sanitation, Commune-level government, and commune-level consumers, water user groups and cooperatives. Piped Water Supply Management Enterprises (PWSMEs) that will be established under the project will be the key focus for capacity building. The component is expected to result in efficient and effective planning, execution, and management of rural water and sanitation services and improved capacity for local institutions to play supporting roles. Component 4: Support for Project Management, Monitoring and Evaluation will provide financing and technical assistance for the establishment and functioning of Provincial Project Management Units (PPMUs) and a Central Project Office (CPO). Local and international consultants will provide assistance for project management and administration, including procurement and contracting of consultants and civil works; financial management of large-scale projects, budgeting and strategic planning; developing and implementing institutional capacity strengthening programs; and developing and implementing monitoring and evaluation programs and quality control procedures. The Project is designed such that each of the four cities implements its own investment program following the decentralization policies of the Government of Vietnam. As such, the Project can be viewed as four individual projects in one program, plus a national component implemented by the Ministry of Agriculture and Rural Development (MARD), Center for Rural Water Supply & Sanitation. The Parent Project is implemented in Hai Duong, Nam Dinh, Ninh Binh, and Thai Binh and by MARD. The additional financing will be applied in all four participating provinces, and MARD. It is estimated that current funding levels could only finance systems in approximately 52 of the 120 communes included in the project. Thus to achieve the objectives and to ensure benefits accrue to the estimated 800,000 beneficiaries, it is estimated that an additional US$ 73.4 million will be required of which the IDA portion would be US$65.27 million. 4. Environmental and Social Safeguards Specialists Vu Thi Dieu Ly – Environmental Specialist Bui Ngoc Quang – Social Development Specialist Page 5 Safeguard Policies Triggered Yes No Environmental Assessment (OP/BP 4.01) X Natural Habitats (OP/BP 4.04) X Forests (OP/BP 4.36) X Pest Management (OP 4.09) X Physical Cultural Resources (OP/BP 4.11) X Indigenous Peoples (OP/BP 4.10) X Involuntary Resettlement (OP/BP 4.12) X Safety of Dams (OP/BP 4.37) X Projects on International Waterways (OP/BP 7.50) X Projects in Disputed Areas (OP/BP 7.60) X II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues OP 4.01, Environmental Assessment: The Red River Delta Rural Water Supply and Sanitation Project (RRD RWSS) has been classified as Environmental Category B. The subprojects are expected to have mostly positive environmental and public health impacts through the provision of safe water and improved sanitation facilities. Potential adverse impacts during construction phase are dust, noise, vibration, pollution of surface water from excavation work, and disturbances to local road and waterways transport. During operation phase, the key potential adverse environmental impacts relates to disposal of sludge from water treatment plant, which mainly consist of river sediment and small contents of alum and lime, and occupational health of water treatment plant operators who are in contact with alum and lime. These impacts are of small to medium scale, localized and can be adequately mitigated by (i) engineering solutions in the design of the facilities such sludge lagoons and drying bed, ventilation hole, washing and bathing areas for workers etc.; (ii) standard mitigation measures to be applied during construction such as avoid construction works at night time, cover trucks, provide ditches and control sediments at outlet, installation of warning signs and signals at water intake area etc., and (iii) apply occupational health safety rules (protective cloths, shower after working shifts, hanging washed working cloth at well-ventilated areas etc.) after for operation phase. OP 4.12 Involuntary Resettlement: The Parent Project triggered the World Bank policy on Involuntary Resettlement (OP/BP4.12). A Resettlement Policy Framework was prepared and endorsed for the whole project. Based on it, Thirteen Resettlement Plans were prepared for subprojects in 58 communes in the four participating provinces of Hai Duong, Ninh Binh, Nam Dinh and Thai Binh. A total of 207 households with 793 persons were affected. A total of 101,489 m2 of agriculture land was acquired for the construction of water plant, intakes, outputs and pipes installation. The level of the land acquisition is at the modest. OP 4.10 Indigenous People: There are no ethnic minorities living in the project areas of the parent project since the parent project covered four provinces in the low land and there is no ethnic minorities living in the current subproject. However, there might be Page 6 ethnic minority communities affected as they are currently living in Ninh Binh and Hai Duong provinces. A Strategy and Guidelines for an Ethnic Minority Development Plan was prepared and endorsed for the whole project. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: The impacts on water quality and quantity of raw water sources would be very minor and negligible, taking into account the relations between extraction rate for commune-level water treatment plant and mean river flow rates, and sludge from water treatment plants will not be returned to these water bodies. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. River water quality will not be affected by the chemicals (lime and alum) used for water treatment as the sediments in raw water will not be returned into surface water bodies. Standard engineering designs of proposed water treatment plants includes sludge lagoon and drying beds so the sludge will be transported to disposal sites approved by local authorities. 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. At Central Level, CPO appointed one staff responsible for safeguard aspects of the Project. At provincial level, each PPMU assigned one staff to be the key person among a team of up to three people who responsible for both social and environmental aspects. Independent environmental monitoring consultant has been mobilized since early 2008 to carry out six-monthly environmental monitoring and training for CPO and PPMU safeguard staff. The implementation arrangements will remain unchanged from the Parent Project as these have proven to be satisfactory and adequate for the activities proposed under the additional financing. The Project Environmental Guidelines (EMG) has been prepared in 2004 during the preparation of the parent project. The document has been updated in 2009, taking into account the lessons leant from phase 1. The EMG provided a comprehensive list of mitigation measures applicable from design to operation phases. For example, engineering design of the water treatment plants includes sludge lagoon and drying bed, adequate ventilations and bathing facilities for workers at alum mixing chamber. Construction is planned to avoid high level of noise at night time, construction wastes and wastewater is managed properly at the sites, timing of water pipeline installations avoids crop harvesting weeks etc. Occupational Health Safety rules have also been introduced in the EMG. Page 7 The Project has been designed to cover 120 communes, each sub-project cover from one to five communes, depending on raw water sources and institutional mechanism to be selected. For each sub-project, an Environmental Protection Commitment (EPC), which Environmental Management Plan (EMP) forms part of, has been prepared during the preparation of the feasibility studies for the proposed schemes provided to about 60 communes. These documents have been reviewed and commented by the Bank, and approved by relevant local authorities. The mitigation measures introduced in the EMG have been used applied in the EMP. During the implementation of the parent project, some graves were found during excavation at two sites of water treatment plants in Hai Duong province. Construction supervisor, contractor, PPMU and local authorities have coordinate to get local community be informed and allow at least two weeks before relocation. Records and maps were prepared and maintained at the CPC. Experience from Hai Duong had been included into the chance find procedures specified in the EMG. All four PPMUs have coordinated with local authorities and construction supervisors to ensure that the impacts during construction are minimized. Typically, PPMU Hai Duong and Ninh Binh directed the contractors not to carry out distribution pipe installation along rural roads during October to avoid traffic disturbance during rice harvesting time. Some contractors had to get signatures of householders before their rehabilitation works were accepted by construction supervisors. Beside the requirements specified in the EMPs, all PPMUs get beneficiaries involving in community socio-environmental monitoring. There are no complaints on environmental issues under the parent Project. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. The consultation with PAHs on during the preparation of subproject EMP and RAP in accordance with OP 4.01 as well as OP 4.12 for RP preparation and implementation and OP 4.10 on Indigenous Peoples. Target communities as a whole will be directly responsible for sub-project planning, decision-making, and financial management. Within these communities, key stakeholder groups include the formal community leadership, mass organizations such as the Women's and the Youth's Unions, local school and parent/teacher associations, and individual families. Project facilitation, training programs, the participatory planning approach, transparency mechanisms, and fiscal decentralization are all elements of the project design to promote stake holder ownership of the project. Project beneficiary groups have been directly involved in the design of the project using a participatory approach. Particular attention was paid to ensuring the equitable involvement of women and poor households in planning and decision-making. Prevailing social structures often limits the voice of women and the poor, but project field staff will be trained to facilitate their inclusion through, inter alia, participatory poverty analysis to identify the poor, separate focus group discussions, and preparation of guidelines for village water management groups. Page 8 The project stakeholders are participating households, including project affected people, local authorities and mass organizations (eg, women’s union). Public consultation on the location of works, and potential environmental and social impacts of the project, was carried out with the local governments, commune members, and DPs. Summaries of the safeguard documents (EA/EMPs/RPF/RPs/EMDS) in Vietnamese were displayed in each of the district towns at a public place, and were disclosed through the Vietnam Development Information Center in Hanoi and in the InfoShop in Washington DC. B. Disclosure Requirements Date Environmental Assessment/Audit/Management Plan/Other: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 12/03/2004 Date of "in-country" disclosure 12/16, 2009 Date of submission to InfoShop 12/ 16/ 2009 Resettlement Action Plan/Framework/Policy Process: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 12/03/2004 Date of "in-country" disclosure 12/ 16/ 2009 Date of submission to InfoShop 12/ 16/ 2009 Indigenous Peoples Plan/Planning Framework: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 12/03/2004 Date of "in-country" disclosure 12/16/2009 Date of submission to InfoShop 12/16/2009 Pest Management Plan: Was the document disclosed prior to appraisal? NA Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop * If the project triggers the Pest Management and/or Physical Cultural Resources, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: Page 9 C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) report? Yes If yes, then did the Regional Environment Unit or Sector Manager (SM) review and approve the EA report? Are the cost and the accountabilities for the EMP incorporated in the credit/loan? Yes OP/BP 4.12 - Involuntary Resettlement Has a resettlement plan/abbreviated plan/policy framework/process framework (as appropriate) been prepared? Yes If yes, then did the Regional unit responsible for safeguards or Sector Manager review the plan? Yes The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Bank's Infoshop? Yes Have relevant documents been disclosed in-country in a public place in a form and language that are understandable and accessible to project-affected groups and local NGOs? Yes All Safeguard Policies Have satisfactory calendar, budget and clear institutional responsibilities been prepared for the implementation of measures related to safeguard policies? Yes Have costs related to safeguard policy measures been included in the project cost? Yes Does the Monitoring and Evaluation system of the project includes the monitoring of safeguard impacts and measures related to safeguard policies? Yes Have satisfactory implementation arrangements been agreed with the borrower and the same been adequately reflected in the project legal documents? Yes Page 10 D. Approvals Signed and submitted by: Name Date Task Team Leader: Hoa Thi Hoang December 18, 2009 Environmental Specialist: Ly Thi Dieu Vu December 18, 2009 Social Development Specialist Quang Ngoc Bui December 18, 2009 Additional Environmental and/or Social Development Specialist(s): Approved by: Sector Manager: Hoonae Kim Comments: